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lpl financial issues with regulators

LPL Financial to Pay $26M to Resolve Regulatory Investigation
LPL Financial to Pay $26M to Resolve Regulatory Investigation 150 150 Rex Securities Law

May 2018 The North American Securities Administrators Association (NASAA) announced that a settlement has been reached between state securities regulators and LPL Finanical requiring LPL Finanical to repurchase from investors…

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Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA
Joeann Walker-Former LPL Financial Broker-Sanctioned Over Annuity Sales-Brockton, MA 150 150 Rex Securities Law

December 2017-Brockton, MA According to FINRA  records Joeann M. Walker, (CRD# 2210194) ,  a   stockbroker who formerly worked for NEXT Financial Group and LPL FInancial  was barred from the securities industry for failing…

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Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT
Brent V. Lott Investigation-Former MHL Investments Broker-Discharged for Violating Firm Policy-Orem, UT 150 150 Rex Securities Law

Brent Van Lott Investigation October 2022- Orem, Utah According to FINRA records,  Brent Van Lott ,   a stock broker who is not currently and who was last  employed by MHL Investments , discloses a regulatory event,…

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Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA
Brian Brunhaver Investigation Update-Former LPL Broker-Discloses Numerous Customer Complaints-Snohomish, WA 150 150 Rex Securities Law

April 1, 2016-Snohomish, WA In 2013 Brian Brunhaver, a former stock broker with LPL Financial, was sanctioned the Washington State Securities regulators for the sale of non publicly traded real…

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Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA
Garrett “Drew” Ahrens- Former LPL Financial Broker-Discloses Sanction and Settlements Over REIT Investments-Lafayette, LA 150 150 Rex Securities Law

May 2017- Lafayette, Louisiana Garrett A. Ahrens  (aka Drew Ahrens) , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that between…

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Kevin Luby, Former Stifel Nicolaus/LPL Financial Broker Sanctioned by Securities Regulator
Kevin Luby, Former Stifel Nicolaus/LPL Financial Broker Sanctioned by Securities Regulator 150 150 Rex Securities Law

January 15, 2015-Daytona Beach, Florida Kevin Luby  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed to disclose to his…

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LPL Financial Agrees to Pay $541,000 For Churning Variable Annuities
LPL Financial Agrees to Pay $541,000 For Churning Variable Annuities 150 150 Rex Securities Law

On October 14, 2014, WIlliam Galvin, secretary of state of Massachusetts announced that LPL Financial had agreed to reimburse nearly $550,000 to investors to resolve claim that they had allowed…

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SEC Files Cease and Desist vs. Former LPL Financial Broker Paul Edward Lloyd, Jr. , Waxhaw, N. Carolina
SEC Files Cease and Desist vs. Former LPL Financial Broker Paul Edward Lloyd, Jr. , Waxhaw, N. Carolina 150 150 Rex Securities Law

On September 30, 2014, the SEC filed an Administrative Proceeding against Paul Edward Lloyd, Jr. , a certified public  accountant and former LPL Financial broker from Waxhaw, North Carolina, seeking…

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